Beruflich Dokumente
Kultur Dokumente
art ic l e i nf o a b s t r a c t
Article history: The Government of China (GOC), in conjunction with the World Bank (WB) and the Global Environment
Received 15 May 2012 Facility (GEF), has recently developed the China Renewable Energy Scale-up Programme (CRESP).
Received in revised form The latter involves an analysis of the current state of renewable energy resources in China as well as
4 March 2013
the implementation of a renewable energy scale-up development based on pilot work. Using the
Accepted 15 March 2013
Zhejiang Small Hydropower Programme financed by the WB as a real-world application case study, a
Available online 9 April 2013
comparison is made between the project management policies espoused in China and those of the WB,
Keywords: with management constraints being examined in detail. Owing to the need for certain modifications to
Small hydropower current management techniques, a framework model of programme management is put forward, with
Programme management
the project management office (PMO) at its core, and staged implementation and multi-level manage-
World Bank financing
ment constituting its principal methods. In addition, this model of programme management meets the
Renewable energy development policy
requirements concerning the policies and procedures stipulated by the WB, with other benefits including
a reduction in terms of cost as well as in the duration of the construction of related subprojects. This is
especially relevant if we take into consideration the sheer number of small hydropower plants and the
diversity of their locations throughout China. This model should therefore be considered for promoting
the scale-up development of small hydropower and other renewable energies in China, and its
application may have a wider significance.
& 2013 Elsevier Ltd. All rights reserved.
Contents
1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
2. Differences in management policies between WB-financed projects and domestic hydropower projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
3. Challenges involved in the scale-up of small hydropower development in China using WB loans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
4. Programme management strategy for small hydropower scale-up development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
4.1. The necessity for an effective programme management strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
4.2. Three-dimensional integrated programme management model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
4.3. Programme management office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
5. Case study involving the Zhejiang small hydropower programme . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
5.1. Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
5.2. Management framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
5.3. Possible constraints and risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
5.4. Realisation of the Zhejiang small hydropower programme management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
5.4.1. Programme integration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
5.4.2. Programme appraisal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
5.4.3. Procurement management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
5.4.4. Financial management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
5.4.5. Environment and resettlement management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
n
Correspondence to: College of Civil Engineering and Architecture, Zhejiang University, Yuhangtang Road 866#, Hangzhou 310058, People’s Republic of China.
Tel.: þ 86 1377 7466 589; fax: þ 86 571 8795 2261.
E-mail address: wzyu@zju.edu.cn (Z. Wang).
1364-0321/$ - see front matter & 2013 Elsevier Ltd. All rights reserved.
http://dx.doi.org/10.1016/j.rser.2013.03.045
22 X. Chen et al. / Renewable and Sustainable Energy Reviews 24 (2013) 21–31
1. Introduction account for 34% of the total potential. In 2010, China embarked on
a plan to ensure even greater potential for energy generation
Since its first loan, which was granted in 1981 to support the involving the refurbishment of 9612 small hydropower plants in
development of Chinese universities [1], by June 30, 2011, the World rural areas, with a total capacity of 9,834.9 MW. On the other hand,
Bank's cumulative lending to China had reached approximately US the rapid increase of development costs, financial shortages, and
$49.15 billion, covering a total of 337 development projects [2], and inadequate efforts to protect the environment and manage resettle-
making China's portfolio one of the largest in the Bank. Indeed, the ment have also been exposed during the development process of
Bank's loans to China have played a significant role both in the relief small hydropower plants. These particular challenges should act as
of poverty and in the promotion of sustainable development. As an incentive for China to strengthen international cooperation,
environmental policy now plays an important role in the agenda of reform management methods, and open new financing channels.
China's new government, World Bank (WB) funds and international In view of the above, while the Government of China (GOC) was
cooperation are of equal importance for reforming energy policies developing the Renewable Energy Scale-up Programme (CRESP) in
and enforcing environmental protection, which are in fact two areas cooperation with the WB and the Global Environment Facility
of particular global concern [3–7]. In order to alleviate energy (GEF), the small hydropower development project in Zhejiang was
shortages while decreasing greenhouse gas emissions, China has included in Phase I, aiming for the gradual implementation of a
recently initiated energy policy reforms to improve energy effi- renewable energy scale-up development as well as the provision
ciency, decrease energy consumption, and to promote renewable of cost-effective and commercial renewable energy electricity to
energy generation [8–13]. the electric power market [7]. CRESP is a 10–12 year endeavour to
Hydropower is an important source of renewable energy towards be implemented in three phases. In Phase I, a WB loan of US
which the most recent technological developments have been direc- $173.33 million was sought for pilot scale-up renewable energy
ted, thus creating great potential for large-scale commercial exploita- investments, and a GEF grant of US$40.22 million was approved by
tion. By 2010, the gross installed hydropower capacity of China had the GEF Council in order to finance CRESP institutional develop-
reached 200 GW, ranking first in the world and consuming 24% of ment and capacity building.
the country's total power-generating capacity [14]. Over a century of The successful implementation of WB-supported projects
hydropower generation, the cumulative energy produced has amoun- depends on a number of factors [17]. Although there is consider-
ted to 7.299 trillion kWh, which is equivalent to an energy output of able social demand and sound policy support for the scale-up
2.7 billion tons of standard coal, resulting in a reduction in carbon development of small hydropower in China, there are many
dioxide emissions by 7 billion tons [14]. There are more than 45,000 problems inherent in the efficient use of WB loans for its devel-
small hydropower plants with a total installed capacity of over 59 GW, opment. These problems include the following: (i) due to variable
and the annual energy produced amounting to 200 billion kWh [15]. plant conditions and locations, both fixed and simple models of
Small hydropower is the major power source for a quarter of the total development are scarcely applicable to small hydropower pro-
population in one-third of all counties, covering almost half of the land jects; (ii) most small hydropower resources are in the mountains
in the country [16]. After decades of development, small hydropower in economically underdeveloped areas where there is an obvious
has not only increased power reserves, responding to power emer- lack of start-up capital; (iii) a deficit of qualified technicians in
gencies and improving energy infrastructure, but it also plays a these rural areas leads to poor management and poor capacity for
significant role in environmental protection [13]. identifying and controlling risks during project implementation;
Scale-up development is the best method for small hydropower and (iv) previous WB-financed projects in China have mostly been
to achieve social and economic recognition while keeping develop- single large-scale projects and the experience acquired from them
ment and operation costs low. The important issue the Chinese is not necessarily applicable to managing a group of disparate
government is facing is how to set up an optimal development and small hydropower projects, each with its unique set of character-
incentive policy. To date, 34 technological standards concerning istics. Furthermore, significant differences between the manage-
small hydropower development have been issued to improve their ment policies of WB-supported projects and small hydropower
technical level, regulate developmental procedures and mitigate development policies in China cause even more complications
negative impact on environment and resettlement. During the connected with the acquisition and utilisation of WB funds.
implementation process of hydropower electricity generating pro- A thorough analysis of the challenges and constraints facing the
jects in rural areas and the modernisation of traditional power trees scale-up development of small hydropower is conducted in this
and straw fuel by small hydropower, the government has provided paper, based on the comparison between Chinese project manage-
financial subsidies to the industry in the form of favourable tax ment policies and those of the WB. A framework model of pro-
policies and price fixation. In addition, the Renewable Energy Law of gramme management is suggested, with a project management office
the People's Republic of China promulgated in 2006 provides legal (PMO) at its core and staged implementation and multi-level man-
support for the implementation and reform of the renewable energy agement constituting the methods used. The principles, advantages,
policy. Currently, the small hydropower resources utilised only and disadvantages of WB-financed Zhejiang Small Hydropower
X. Chen et al. / Renewable and Sustainable Energy Reviews 24 (2013) 21–31 23
programme management are also explained. We should also note domestic policies relating to hydropower development. Although
that the model of programme management and methods put forward independently owned capital and management resources for these
in this paper meet the requirements established by the WB for the projects are relatively limited, investors are still able to accomplish
projects which it finances. In addition, if the large number of small their objectives at a low management cost. Not only does WB
hydropower plants and their diverse locations are taken into account, financing provide new opportunities for development and promo-
this model of programme management would also contribute to tion, but it represents a series of challenges, which are detailed
reducing the duration of subproject construction as well as lowering below, concerning traditional small hydropower development and
the costs of implementation. management.
hydropower capacity comprises 6.5% of the total installed genera- 5.3. Possible constraints and risks
tion capacity of the province. As of June 2011, Zhejiang had obtained
WB financing amounting to US$2739.24 million, accounting for The constraints and risks of the Zhejiang Small Hydropower
5.57% of the total loans to China by the Bank. Due to the outstanding Programme, arising in part from differing management policies
efficiency of hydropower management and production, positive between WB-financed projects and domestic hydropower regula-
environmental impact assessments, and favourable real estate tions, are shown in Table 1.
development policies, the WB and GOC consider Zhejiang a pilot
province for the CRESP initiative. 5.4. Realisation of the Zhejiang small hydropower programme
management
Table 1
Constraints and risks of the Zhejiang Small Hydropower Programme.
Programme management Selection of subprojects by GOC and WB; programme approval by GOC; Programme not constituted; programme approval not
organisation; programme programme appraisal by WB; negotiation and signing of Loan Agreement completed; programme appraisal not completed; not
integration; programme and Project Agreement. eligible for WB financing.
appraisal.
Procurement management Guideline for Procurement under IBRD Loans and IDA Credit (WB Issues relating to procurement
Procurement Guideline)
Environment management WB's environmental policies and national laws and rules on environment Environmental risks
Resettlement management WB's resettlement policies and national laws and rules on land and land Resettlement risks
requisition
Dam safety management WB's dam safety policies and national rules and regulations on dam Dam safety risk
safety management.
Financial management Financial covenants in Loan Agreement and Project Agreement, and Financial risks
related national financial regulations for WB-supported projects
26 X. Chen et al. / Renewable and Sustainable Energy Reviews 24 (2013) 21–31
Table 2
Survey of the Zhejiang Small Hydropower Programme.
Hydropower Programme was divided into two parts (see Fig. 5). Impact Assessment (EIA), Resettlement Action Plan (RAP) and the
Before the programme negotiations, the Bank approved the dam safety evaluation of each subproject. Only after the appraisal of a
management organisation and the programme framework, but subproject had been approved by the Bank could the loan proceeds
no specific assessment was made on individual subprojects. When be utilised. The aforementioned model sped up programme appraisal
the negotiations had been completed and the implementation and costs were reduced in consequence.
stage had commenced, the appraisal of subprojects was conducted
by a provincial PMO, to which the task had been entrusted by the
Bank. The PMO organised experts to assess the subprojects in 5.4.3. Procurement management
batches in accordance with the procedures and standards specified The procurement of industrial goods and civil services was
in the framework, covering Technical Due Diligence, Environmental made through International Competitive Bidding (ICB), National
X. Chen et al. / Renewable and Sustainable Energy Reviews 24 (2013) 21–31 27
Competitive Bidding (NCB), and inquiries, which were subject 5.4.4. Financial management
to prior review by the Bank. The procurement management Financial guarantee, the management of loan proceeds and
flowchart for the Zhejiang Small Hydropower Programme is auditing were identified as the crucial concomitants of the
presented in Fig. 6. Procurement management on this programme financial management of the programme. To ensure the sound
differed from usual practices on WB-financed projects in several allocation and repayment of WB loans, hierarchical financial
ways. Firstly, there were a number of subproject owners; with guarantees were required while applications for subproject finan-
some subprojects belonging to the state and others being privately cing by the WB were being submitted. That is, first of all financial
owned. Secondly, there were hundreds of small contracts. After guarantees had to be obtained from the government bodies of the
consulting with the Bank, a multi-level procurement style of counties where the subprojects were located, followed by the
management was adopted for the programme. government bodies at provincial level, and finally from central
28 X. Chen et al. / Renewable and Sustainable Energy Reviews 24 (2013) 21–31
government at national level. Once the WB loans had been examining and approving disbursement applications and other
obtained, the proceeds were on-lent from national to provincial financial activities. The management of loan proceeds allocated to
level, down to county level, and finally to the owners of the the programme is shown in Fig. 7. Auditing was conducted by the
subprojects. During the implementation of the programme, the Zhejiang Provincial Audit Office as authorised by the State Audit-
Provincial Department of Finance undertook responsibility for ing Administration. The provincial PMO was responsible for
withdrawing loan proceeds from the Special Account and reim- submitting audited annual financial reports to the WB Beijing
bursing subproject owners, and the PMO was responsible for Office by June 30 each year. The reports consisted of two parts,
namely financial statements and supplemental documents.
an installed capacity of 4 1600 kW, a regular reservoir capacity 23,000 MWh. The plant was completely renovated, increasing its
of 22.30 million cubic metres, and a regulating capacity of 18.9 annual income by US$0.31 million. Owing to efficient programme
million cubic metres. Since its foundation in 1977, the plant had management, the renovated plant was commissioned six months
supplied nearly 500,000 MWh green electricity to Lishui City. earlier than scheduled, and its maintenance cost was reduced by
However, after over thirty years of continuous operation, the aging almost 20%, which was worth US$0.42 million.
water–turbine generator sets and auxiliary equipment failed to The Zhejiang Small Hydropower Programme was in progress
function properly. Due to the urgent need for a facility upgrade, from June 2006 to December 2010, with a total duration of 54
the plant was included in the programme in July 2005. Plant months. Sixteen small hydropower plants were either renovated
refurbishment began in November 2006 and cost around US$2.08 or newly built, and two hydropower plants, namely S17 and S18 in
million. WB financing of US$1.46 million was sought. In April 2007, Table2, withdrawn from the programme due to dam safety issues
new water–turbine generator sets were installed with a capacity or owner regulation non-compliance. In accordance with the
amounting to 4 1800 kW and an annual energy production of procedures on programme change, the loan quota for S17 was
transferred to S13 to use, and the loan quota for S18 was with-
drawn by the Bank. The aggregate installed capacity of the 16
plants increased from the original 26.38 MW to the current
36.29 MW. The total cost of the programme was US$33.74 million,
of which US$17.68 million was financed by the Bank. By December
2010, the total energy produced was 431.81 GWh, and significant
social and economic benefits had been achieved.
Table 3
Comparison between Zhejiang Small Hydropower Programme management and the USUAL management of other WB-financed projects.
Project Selection Investigate with borrower, discuss PMO participates in the selection on behalf of Programme management reduces work of the
cycle lending plan and identify project subproject owners. Bank and subproject owners, decreases cost of
candidates; project owners play their preparation, and favours programme
role. implementation and strategy realisation.
Preparation Project owners prepare for the project PMO integrates the programme and conducts
and the Bank sends its experts to providepreparation works; subproject owners
assistance. coordinate; the Bank sends its experts to
provide assistance.
Appraisal The Bank conducts appraisal on technical, PMO conducts appraisal and the Bank reviews; Involve national experts; lower programme
financial, organisational, social and appraisal cost is covered by grants; subproject risks; save time; reduce the Bank's appraisal
environmental aspects of the project; owners coordinate. cost; reduce subproject owners' cost incurred
project owners coordinate. during preparation of appraisal.
Negotiation The Bank, borrower, and project owner The Bank, borrower, and PMO negotiate, and the Avoid precluding subproject owners from
take part in negotiations before signing PMO signs the Agreements on behalf of the participating in negotiations; reduce cost of
the Loan Agreement and Project subproject owners and transfers loans to them. negotiations; make Agreement more suitable
Agreement. and practical for the programme.
Implementation The Bank dispatches consultants to The Bank supports PMO development; PMO Avoid issues from insufficient WB consultant
inspect and supervise project supports subproject owners; The PMO inspects, resources; reduce the Bank's inspection costs
implementation. reviews, and supervises subproject and the owner's reception costs; better
implementation, with resulting costs covered by coordinate and control subproject and lower
grants; the Bank dispatches consultants to programme risks; build owners' capacity and
conduct unscheduled inspections. promote sustainable development.
Post-evaluation The owner prepares project evaluation The PMO collects data and prepares evaluation Foster the experience of summing up; reduce
report, and the bank completes post- report; the Bank completes post-evaluation workload of subproject owners.
evaluation report. report.
30 X. Chen et al. / Renewable and Sustainable Energy Reviews 24 (2013) 21–31
6. Discussion government had more control and rights with regard to the use of
the WB loan.
Although the programme management of Zhejiang Small
Hydropower proved effective, some issues still remain to be dealt 6.3. The PMO as intermediary
with and improvements are expected in the future.
A management organisation for a WB-financed project is not
6.1. Programme alteration a stand-alone unit. PMOs for the Zhejiang Small Hydropower
Programme at both provincial and county level were staffed by
Programme alterations result in management changes due employees transferred from other related administrative depart-
either to unreasonable programme management constraints or ments. As a WB-financed project cycle usually lasts more than five
regulation non-compliance by owners or management officials. years, personnel changes often occur within the cycle, a factor
In this case, three methods were implemented to protect against which results in considerable difficulties in terms of programme
unplanned changes. (i) In the programme assessment stage, local management. Core management changes occurring during the
governments were required to provide financial guarantees, and transfer of staff members at the programme integration stage are
each subproject owner was required to provide credentials, inter- particularly disruptive.
nal financial management rules, and financial statements, which The authors of this paper would like to suggest that profes-
were all used to conduct a financial risk assessment. Only small sional intermediary agencies might be employed by the PMOs
hydropower plant owners who met requirements were included to support the latter's programme management operations.
in the programme and provided with WB loans. (ii) In the An intermediary agency of this sort would be responsible for
programme implementation plan, the WB, GOC, and PMO reached liaising with top management (e.g., the WB and the national
a judicially notarised agreement concerning subproject increases governmental departments concerned) and subproject owners as
and exits. (iii) The subproject owner had to apply for these, and well as for carrying out activities in accordance with the set
when major changes occurred, such as exits from the subprojects, strategic policies and constraints. The lead management for the
procurement plan changes, and changes in the amount of the programme would take responsibility for setting these policies
loans, the WB and GOC gave the final approval. and ensuring that the constraints are respected. With the support of
It should be noted that in the usual management procedures in a professional intermediary agency, a PMO would contribute to
WB-financed projects, the WB generally assesses the projects first formulating a highly efficient and multi-level programme manage-
before signing the loan agreement. However, in the WB-Financed ment organisation and system and accumulate programme manage-
Zhejiang Small Hydropower Programme, when the WB, GOC, and ment knowledge.
PMO signed the Project and Loan Agreements, the 18 subprojects
were only potentially involved after the initial screening and did 6.4. Programme information management
not necessarily pass the full assessment carried out by the WB.
Only the management procedures, rules, and framework of the Compared with traditional project management, programme
programme were defined by the WB, GOC, and PMO in the signed management requires managers to deal with more complex
Agreements. Possible changes to the subprojects were expected in information since they need to coordinate and supervise a variety
the Agreements and corresponding procedures, making the exits of subprojects located in different places at different stages of the
of S17 and S18 a controllable risk. These changes did not affect the programme. A programme management information system
duration of the programme. Although the total installed capacity should have been established to improve the management effi-
was less than originally planned, the financial indicators of each ciency for the Zhejiang Small Hydropower programme right at the
subproject were not affected due to the fact that each subproject outset, after identifying its features and clarifying the manage-
was independently accounted for. Apart from financial indicators, ment process.
the WB paid most attention to the exploration of the renewable
energy policy presented in this paper, namely a framework model
of programme management to promote scale-up development of 7. Conclusions and prospects
small hydropower. The construction of these policies was not
affected due to the withdrawal of two subprojects, and the WB During the past thirty years, China has become the second
considered that the programme had achieved the desired purpose. largest country in terms of energy consumption, and energy
demand continues to rise. In order to address energy shortages
6.2. Financial guarantee and reduce greenhouse gas emissions, the Chinese government is
instituting energy policy reforms and plans to raise the proportion
A loan guarantee from the GOC is a prerequisite for financial of renewable energies. As small hydropower is an important
assistance on any WB supported project; for the Zhejiang Small source of renewable energy with a huge potential for develop-
Hydropower Programme, an aggregate loan was guaranteed by the ment, promoting the scale-up development of small hydropower
Ministry of Finance. Upon programme integration, all prospective is important for China and its cooperation with international
subproject owners were asked to submit letters of financial organisations such as the WB and the GEF is mandatory. During
guarantee from local government. Those who could not obtain a the utilisation of WB financing, attention should be paid to the
guarantee from local government were not eligible for WB finan- significant differences between the management of WB-financed
cing. Currently, approximately 60% of small hydropower plants in projects and domestic hydropower project management.
Zhejiang are privately owned so that it is very difficult for the In contrast to individual project management, small hydro-
owners of these plants to go through procedures for securing power programme management is oriented toward the overall
financial guarantees from the government. More attention should strategic goals of multiple subprojects and focuses on integral
be paid to the setting of constraints, such as scope alteration and planning, control and the maximisation of the rate of resource
financial guarantees at the level of programme integration, so that exploitation. In this paper, the Zhejiang Small Hydropower Pro-
the strategic objectives of the programme would be more meaningful gramme, which was part of Phase I of CRESP, has been discussed,
and easier to achieve. It might be more favourable for programme firstly by examining the constraints related to programme manage-
management and more convenient for decision-making if local ment. The programme's key control points were then examined, and
X. Chen et al. / Renewable and Sustainable Energy Reviews 24 (2013) 21–31 31
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